Request of Prospectus directive competent authority and registers

Autoridad Europea de Valores y Mercados no tenía la información solicitada.

Dear European Securities and Markets Authority,

Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I am requesting documents which contain the following information:
Under the prospectus directive competent authorities(as quoted below) are required to maintain a register of natural persons who are considered qualified investors
The information I am requesting is
Any copy you have of registration data from a competent national authority.
Details on who are the competent authorities for member states?
What EU legislation if any governs the process of obtaining this register?
What polices of the competent authority apply?

"
For the purposes of paragraphs 1(e)(iv) and (v) the
following shall apply:
Each
competent
authority
shall
ensure
that
appropriate
mechanisms are in place for a register of natural persons and
SMEs considered as qualified investors, taking into account the
need to ensure an adequate level of data protection. The
register shall be available to all issuers. Each natural person or
SME wishing to be considered as a qualified investor shall
register and each registered investor may decide to opt out at
any moment."

Yours faithfully,
Kraig Higgs

Info ESMA, Autoridad Europea de Valores y Mercados

Dear sir or Madam,

Thank you for your message.

We value your input and question raised on this issue. As with all
relevant questions that are submitted to us by external sources, we have
taken note of the points raised and are consulting internally as well as
with the relevant ESMA committees to assess whether further public
guidance is needed. Please refer to
[1]https://www.esma.europa.eu/questions-and... for information on
criteria followed by ESMA to accept and prioritise questions.

Please note that ESMA endeavours to reply within two months to factual
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Regards,

ESMA

 

References

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Info ESMA, Autoridad Europea de Valores y Mercados

Dear Kraig Higgs

Thank you for your application for access to documents under Regulation (EC) No 1049/2001 which was received on 29 October 2017. ESMA is in the process of handling your application and we will revert to you in due course.

Kind regards
ESMA

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Info ESMA, Autoridad Europea de Valores y Mercados

1 Adjuntos

Dear Kraig Higgs,

 

We would like to refer to the application for access to documents under
Regulation (EC) No 1049/2001 you filed on 29 October 2017.

 

We are writing to inform you that ESMA, on the basis of internal research
conducted further to your request, does not dispose of any copies of
registers of natural persons and SMEs that are considered qualified
investors held by National Competent Authorities as per Article 2(3) of 
Directive 2003/71/EC (the 2003 Prospectus Directive).

 

In this respect please also note that the legal provision referred to in
your request, addressed to National Competent Authorities, was deleted by
Article 1(2)(b) of Directive 2010/73/EU (the revised Prospectus
Directive).

 

Finally, we attach for your information the list of National Competent
Authorities which might be able to retrieve the national register of
natural persons in existence between 2005 and 2012. Therefore you might
consider to address your request to the relevant National Competent
Authority.

 

Kind regards,

 

ESMA

 

Dear Info ESMA,

Thank you for the information.

Yours sincerely,

kraig higgs